Section 102 Securities and Exchange Act B.E. 2535 Section 102. The lending of money for the purchase, sale or exchange of securities by a securities company shall be in accordance with the rules
approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index, securities index or any other variables as specified in the notification of the SEC with the
Re: Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism Reference is made to the AntiMoney Laundering Office (AMLO)’s amendment to the Anti-Money
between the price or value of goods or variable specified in the contract and the price or value of such goods or variable prevailing at a given time or any interval in the future as specified in the
company under (e) or an agreement in the nature of money lending to the company under (e), provided that a fund has already become the shareholder of such company. (4)4 “ infrastructure business ” means the
Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism _____________ By virtue of (1) Clause 4(2) of the Notification of the Securities and Exchange
the contract (physical delivery), or a party may make cash settlement where the cash difference between the exercise price and the market value or price of the underlying asset or variable at a time or
securities and the amount of money paid for securities which have been purchased by the underwriter as well. The report as referred to in the first paragraph shall be made in accordance with the rules and
whose names appear on the register of unitholders on the dissolution date of the mutual fund money or assets remaining after the payment of debts; (5) applying for registration of the dissolution of the
) “ margin account ” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “ cash account ” means an account